About the Event

Some members have asked for help and input regarding SEC compliance topics like:

  • Annual Review

  • ADV

  • Compliance Training

  • Etc.

In order to cater to these needs, and in order to make your membership yet more valuable, SRIAA is very pleased to announce its Annual Compliance Training.

 

July 19th, morning, Annual SRIAA Compliance Training


Dustin Milne (http://milnelegal.com) has agreed to hold this Compliance Training for SRIAA Members. The training will take about 2 hours. It will qualify as the annual training that your staff needs to conduct, and it will be validated by SRIAA accordingly.

 

Participation fee for Members: CHF 100.-

Participation Fee for Non-Members: CHF 250.-

A number of annual SEC compliance matters keep us all busy: Annual Review, ADV, Compliance Training, etc.

Some members have asked for help and input regarding these topics. In order to cater to these needs, and in order to make your membership yet more valuable, SRIAA is proud to present its first Annual Compliance Training.

 

The idea is that, instead of making all arrangements yourself, you will be able to send your team members for this general compliance training, which can then be complemented / rounded off with the company specifics of your internal procedures and training as needed.

Agenda points covered will include the following:

• Chief Compliance Officer

• Compliance Manual

• Conflicts of Interest

• Duty to Supervise

• Personal Account Dealings

• SEC Trading Blotter

• Trade Errors

• Participating Affiliates

• Annual Review

• Marketing

• Advisory Fees

• Business Continuity Plan

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